Compliance Advisor

Richardson Wealth Ltd; Toronto; On-site; CAD 66,000 - 75,000; Full time

Benefits offered by this job

Health & dental benefits

RRSP match

Paid time off

Job summary

Richardson Wealth Ltd is seeking a Compliance Advisor to support retail compliance across Canada. You will conduct reviews of client activity, respond to inquiries from Investment Advisors, and help ensure regulatory requirements are met.

The role emphasizes surveillance, AML support, and ongoing improvement of compliance procedures. A university degree or college diploma and CSC/CPH credentials are preferred.

Qualifications

• Experience with CIRO Dealer Member is an asset.
• Strong verbal and written communication.
• Understanding of how investment/securities industry works and internal processes.
• Good knowledge of Canadian regulatory requirements and industry rules.
• Knowledge of trading practices, market structure, risk factors and investment strategies.
• Ability to work with minimal supervision and exercise good judgment.
• Self-motivated with a commitment to ongoing learning and professional development.
• Proficient with MS Office and relevant software (Dataphile, Portfolio Aid, OTRS).

Responsibilities

• Conduct, monitor and document daily and monthly head office reviews of client account activity.
• Identify trading trends and assess suitability, concentration, conflicts of interest, unusual transactions.
• Follow up on inquiries from reviews with Advisors and Branch Management.
• Ensure actions from reviews are completed and records filed.
• Serve as a key contact on Surveillance inquiries from staff.
• Monitor regulatory risk and recommend actions.
• Assist in AML activities as needed.
• Evaluate procedures and implement policy changes.
• Provide guidance on compliance policies to advisors and staff.
• Work on special projects.

Skills

Verbal & written comms

Regulatory knowledge

Trading practices

Initiative

Judgment

Learning mindset

MS Office

Industry software: Dataphile

Education

University degree/college diploma

CSC & CPH

Tools

Dataphile

Portfolio Aid

OTRS

Job description

Job Description

Posted Friday, July 10, 2026 at 4:00 AM

About Us: As a leading Canadian wealth management organization, Richardson Wealth offers the personal touch of a boutique firm while delivering big results. With offices across the country, we are home to some of Canada’s best investment advisors. We’ve embarked on an exciting growth phase – a multi‑year transformational journey to enhance our entrepreneurial, high‑performing, advisor‑centric culture.

Position Overview: The Compliance Advisor is a resource for employees and other industry related professionals regarding industry regulations that must be adhered to within the firm. The primary responsibilities will be geared towards retail compliance including daily and monthly trade/account surveillance, responding to queries of the Investment Advisors, Branches and other departments.

This is an existing vacancy.

Duties and Responsibilities:

• Conduct, monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in CIRO Policies and other regulatory/corporate guidelines.
• Identify trading trends developing of specific advisors and/or client accounts with an emphasis on suitability, concentration, potential conflicts of interest, unusual transactions, conducting detailed analysis and escalating concerns to the Regional Team Lead, where necessary.
• Follow up on inquiries from daily and monthly reviews with Advisors and Branch Management.
• Ensure that required actions arising from reviews are completed within reasonable timeframes and records are appropriately filed in the central location within the Compliance Department.
• Functions as a key point of contact and resource on Surveillance related inquiries and requests from employees and Branches staff.
• Monitor business conduct for risk resulting from regulatory non‑compliance and recommend course of action.
• Assist in AML as needed relating to unusual and/or suspicious activity.
• Continually evaluate the effectiveness of departmental procedures and participate in developing, maintaining and implementing changes to the policies and procedures.
• Provide guidance and support to advisors and branch office staff regarding compliance policies and procedures, including effectively communicating requirements.
• Work on special projects as requested.

Qualifications:

• Previous industry experience with a CIRO Dealer Member is an asset, including the ability to conduct suitability assessments.
• Strong verbal and written communication skills.
• Strong understanding of how the investment/securities industry functions and be able to apply that knowledge to RWL internal processes.
• Good understanding of regulatory requirements and industry rules across Canada.
• Good understanding of trading practices, market structure, risk factors, and general characteristics associated with the various securities and investment strategies to perform day‑to‑day analysis.
• Ability to use initiative and work with minimal supervision.
• Exercise good judgment on regulatory and supervisory issues.
• Self‑motivated and interested in ongoing learning and professional development (including attendance of regulatory or educational conferences and seminars).
• Working knowledge of MS Applications including Word, Excel, Access, and PowerPoint.
• Strong computer and technology skills and familiarity with industry software would be an asset (including Dataphile, Portfolio Aid and Open‑Source Ticket Request System (OTRS)).

Education:

• University degree or college diploma.
• Completion of the Canadian Securities Course (CSC); Conduct and Practices Handbook (CPH).

The expected annualized base salary range for this role is $66,000 - $75,000.

The actual salary offered will take into consideration a wide array of factors including, but not limited to, the individual’s skill, experience, education and training, and the consideration of internal equity.

Richardson offers a competitive total rewards package in addition to the base pay, which includes a performance‑based incentive plan, comprehensive health & dental benefits, a group RRSP matching plan and paid time off.

Why Apply: Our firm is only as good as the people who work here. Our employees are exceptional because they combine in‑depth expertise with enthusiasm, and empathy. From our front office talent to our colleagues behind the scenes, we have one focus: to ensure our people thrive here more than anywhere else. Are you innovative, self‑driven, and client‑centric?

Richardson Wealth is an equal opportunity employer and committed to providing a diverse, equitable and inclusive environment. We are happy to meet your individual needs in keeping with the Canadian Charter of Rights and Freedoms and the Accessibility for Ontarians with Disabilities Act. Candidates may request accommodation at any point during the interview process.